revision aims to promote greater varieties of product choices for investors and enhance competitiveness of the fund management industry. The draft amendments have taken into consideration the comments and
Bangkok, July 27, 2016 ? The SEC is seeking public comments on the proposed revision to the rules on the issuance and offering for sale of derivative warrants with regard to disclosure and additional underlyings. The key areas of revision are: (1) more detailed disclosure of the criteria for DW price setting to give investors sufficient information for decision making, and (2) permission for foreign stocks and foreign stock index to be DW additional underlyings to increase investors? choices. ...
other related rules. The draft amendment, having previously undergone a focus group consultation, aims to remove impractical procedures and enhance consistency of relevant provisions under the principle
voting rights” and opened public hearing on the matter in late 2018. The stakeholders mostly agreed with the principle. SEC is proposing a draft notification of the Ministry of Finance which reflects
Bangkok, 30 November 2016 ? The SEC is seeking public comments on the draft amendments concerning mutual fund product governance to ensure that intermediaries? business practice focuses primarily on
performance, for example, cross-shareholding, having the same directors, and the underwriter or the financial advisor being the creditor to the issuer, etc.The SEC, therefore, is proposing draft
Bangkok, March 22, 2016 ? The SEC is seeking public comments on the proposals to amend several provisions of the Securities and Exchange Act (SEA) B.E. 2535 (1992) and the Provident Fund (PVD) Act B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business undertaking as well as to protect investors? best interest.?The four key areas are:?1. Provisions on S...
Bangkok, April 12, 2016 ? The SEC is seeking public comments on a draft amendment to the rules governing intermediaries? business continuity management (BCM) and service outsourcing to enhance their
Bangkok, January 21, 2016 ? The SEC is seeking public comments on draft amendments to the regulations concerning supervision on trigger funds and product advertisement.The proposed amendments to the
Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft regulations to be issued by virtue of the Royal Decree on the Digital Asset Businesses B.E. 2561 (2018), which has become